Sr. Manager, Code Compliance

T. Rowe Price • Owings Mills, MD

1d • $110,000 - $236,000 • Hybrid

About The Position

The Sr. Manager, Code Compliance leads a high-performing team responsible for overseeing and enhancing the firm’s Code of Ethics, personal trading, outside activities, and conflicts of interest framework. This role plays a critical part in protecting the integrity of T. Rowe Price’s fiduciary and regulatory obligations by ensuring associates’ activities are appropriately monitored, assessed, and aligned with firm policy and regulatory expectations. Code Compliance is a dynamic and evolving function, operating at the intersection of regulatory requirements, business strategy, and technology enablement, with a focus on proactively identifying and mitigating employee conflicts of interest across a complex global organization. As the Sr. Manager, Code Compliance, you will partner with Global Compliance management to shape the firm’s approach to employee conduct oversight while driving continuous improvement in processes, controls, and systems. You will implement strategic direction and coach your team to interpret regulatory requirements and translate them into practical, scalable compliance solutions and guidance. In this role, you will partner closely with stakeholders across Compliance, Legal, Technology, HR, and the business to design and implement enhanced monitoring frameworks, workflows, reporting, and analytics that strengthen oversight and improve operational efficiency. You will lead efforts to modernize compliance through technology, data, and process innovation, enabling the firm to respond effectively to an increasingly complex and evolving conflicts landscape. Your leadership will ensure that Code Compliance not only meets regulatory expectations but also serves as a strategic advisor to the business, helping associates and leadership make informed, risk-aligned decisions.

Requirements

• Bachelor's degree or the equivalent combination of education and relevant experience AND 8+ years of total relevant work experience

Nice To Haves

• Strong critical thinking, analytical, investigative, and risk evaluation skills, including the ability to develop practical and scalable solutions to complex ethical and compliance matters.
• Demonstrated people leadership capabilities, including coaching, talent development, performance management, delegation, and team engagement.
• Excellent verbal, written, and interpersonal communication skills with the ability to engage effectively with employees, senior leadership, regulators, and stakeholders across geographies and business functions.
• Demonstrated success leading cross-functional compliance initiatives within a complex global organization
• Proven ability to influence stakeholders, drive collaboration, and lead organizational change initiatives in a matrixed environment.
• Experience with compliance technology platforms, surveillance systems, workflow automation tools, and AI-enabled compliance solutions.
• In-depth knowledge of global regulatory frameworks governing personal conduct, conflicts of interest, fiduciary obligations, and ethics-related compliance requirements.

Responsibilities

• Lead and manage the Code Compliance function, providing strategic direction and oversight of activities related to employee personal trading, outside activities, gifts & entertainment, and conflicts of interest frameworks
• Directly manage and develop team, including setting objectives, providing ongoing coaching and feedback, and supporting career development to build deep subject matter expertise and strong judgment
• Oversee day‑to‑day compliance operations, ensuring timely and consistent review of disclosures, approvals, monitoring activities, and issue resolution in accordance with firm policy and regulatory expectations
• Serve as an escalation point for complex or high‑risk employee compliance matters, providing clear guidance, making risk‑based decisions, and partnering with Legal, HR, and senior Compliance leadership as needed
• Lead and implement strategic projects and initiatives, including system enhancements, policy updates, workflow automation, and process redesign efforts to strengthen controls and improve scalability
• Drive continuous process improvement and operational efficiency, identifying opportunities to streamline workflows, enhance monitoring capabilities, and leverage technology to reduce manual effort and control gaps
• Partner cross-functionally with stakeholders across Compliance, Legal, Technology, and business units to ensure alignment on policy interpretation, implementation, and risk mitigation
• Design, enhance, and oversee compliance reporting and analytics, including dashboards, trend analysis, and management reporting to provide insight into employee behavior and control effectiveness
• Identify and communicate emerging risks, trends, and observations to Global Compliance Management, including thematic issues, control gaps, and opportunities for policy or procedural enhancements
• Contribute to the evolution of the firm’s Code of Ethics and related policies, ensuring alignment with regulatory developments, industry practices, and the firm’s risk appetite
• Promote a strong culture of compliance and ethical behavior, providing guidance, training, and transparency to associates and leadership on expectations and best practices

Benefits

• Competitive compensation
• Annual bonus eligibility
• A generous retirement plan
• Hybrid work schedule
• Health and wellness benefits, including online therapy
• Paid time off for vacation, illness, medical appointments, and volunteering days
• Family care resources, including fertility and adoption benefits

What This Job Offers

• Job Type: Full-time
• Career Level: Senior